Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norma? Claim Your ProfileNorma Montalvo is a financial advisor with UBS Financial Services Inc. Norma has been working in the financial services industry since 2003 and has a wide range of experience in providing financial advice to individuals, families, and businesses. Norma holds a variety of licenses and certifications, including the Series 7, 63, and 65 licenses, as well as the SIE exam. Norma is also a registered representative of UBS Financial Services Inc. Norma is committed to providing her clients with personalized financial advice and guidance, and she strives to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CT
11/01/2013 - Present
UBS Financial Services Inc. (GREENWICH CT)
CT
10/16/2008 - 05/07/2012
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
CT
01/27/2006 - 09/30/2008
JANNEY MONTGOMERY SCOTT LLC (DARIEN CT)
NY
05/18/2004 - 10/03/2005
CLARK DODGE & CO., INC. (WHITE PLAINS NY)
MO
07/21/2003 - 05/14/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
05/22/2003 - 07/21/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/11/2002 - 05/09/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 06/13/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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